Expert Insights: 2020, A Year in Review with Chip Jones

Presented by

Chip Jones, EVP Compliance, Global Relay; Donald McElligott, VP Compliance, Global Relay

About this talk

What a year 2020 was! Almost overnight, COVID-19 upended lives, disrupted economies, and turned on its head just about every industry. Financial services firms suddenly faced new challenges – from implementing essential remote work technology, to ensuring communications of remote employees were captured and supervised, to ascertaining staff continued adhering to security protocols, and more. The finance industry needed a quick, efficient way to transition into a remote work environment. Global Relay, the industry-leading cloud archiving provider, dutifully stepped up to the challenge – providing its customers with technology to compliantly capture, supervise, and preserve their critical eComms data. Join Global Relay’s Chip Jones, Executive Vice President-Compliance, and Donald McElligott, Vice President-Compliance Supervision, as they look back at the year that was. Chip and Don will review: ▪ How Global Relay helped customers address compliance challenges during the pandemic ▪ Top regulatory issues faced by the financial services industry in 2020 ▪ Other industry challenges: ◦ Compliance with FINRA Supervision Rule 3110 ◦ Remote Work and Cybersecurity Concerns ◦ Disruption of Investment Professionals Qualifications Exams

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Global Relay (www.globalrelay.com) is a leading provider of compliant electronic communications archiving, messaging, supervision, information governance, and eDiscovery. Our 20,000+ customers in 90 countries include highly regulated organizations and other corporate firms, including financial services, insurance, technology, energy (oil and gas), legal, government and healthcare. Global Relay Archive preserves more than 60 data types within a unified, highly-secure and scalable cloud repository. Data types include: email, collaboration platforms (e.g. Microsoft Teams, Slack, Zoom), Instant Messaging, Bloomberg®, Refinitiv, social media, text messaging, voice, and trade data. Global Relay Message enables organizations to collaborate both internally and externally, confident that compliance, privacy, and security requirements are being met. Contact us at connect@globalrelay.net